FAR 9.106-4—Reports.
Plain-English Summary
FAR 9.106-4 explains how preaward survey findings must be documented and reported, and it ties those reports directly to responsibility determinations. It covers completion of the applicable Standard Forms 1403 through 1408, the need for a narrative discussion that supports the ratings and recommendations, special consultation requirements with the Small Business Administration (SBA) for certain small businesses with 8(a) status or recent Certificates of Competency, how to report prior unsatisfactory performance and corrective action, and when a short-form preaward survey report is allowed instead of a full on-site survey. In practice, this section ensures that contracting officers receive enough factual support to make a sound award decision, especially when the prospective contractor’s capability, past performance, or business status raises concern. It also protects small business interests by requiring SBA coordination before an adverse or affirmative responsibility recommendation in specified cases. For contractors, the section matters because survey findings can influence whether they receive award, whether they are viewed as responsible, and whether their past performance or need for Government assistance is documented in the procurement record.
Key Rules
Complete the required forms
The surveying activity must complete the applicable parts of SF 1403 through SF 1408, depending on the areas being reviewed. The report must also include a narrative discussion that is detailed enough to support the evaluation ratings and the recommendation.
Consult SBA in special cases
If the surveyed contractor is a small business receiving preferential treatment under section 8(a) or has received a Certificate of Competency within the last 12 months, the surveying activity must consult the appropriate SBA field office before making an affirmative recommendation on responsibility or nonresponsibility.
Address unsatisfactory performance fully
When the survey reveals prior unsatisfactory performance, the report must state the extent to which the prospective contractor has already taken corrective action or plans to do so. The absence of proof that the contractor caused the prior failure does not automatically make the performance satisfactory.
Report burdensome Government assistance
The narrative must identify any persistent pattern showing that the contractor needs costly and burdensome Government assistance, such as engineering, inspection, or testing, when that assistance is provided in the Government’s interest but is not required by the contract.
Use short-form reports only when allowed
If the surveying activity has enough information to recommend award without an on-site survey and no special areas of investigation have been requested, it may issue a short-form preaward survey report. In that case, only SF 1403 is used, Sections III and IV must be completed, and block 21 must be checked to indicate a short-form report.
Responsibilities
Surveying Activity
Complete the applicable SF 1403 through SF 1408 forms, prepare a narrative that supports the ratings and recommendation, consult SBA when required, evaluate and report corrective action for prior unsatisfactory performance, identify persistent needs for costly Government assistance, and determine whether a short-form report is appropriate.
Small Business Administration (SBA) Field Office
Provide input through consultation before the surveying activity makes an affirmative responsibility or nonresponsibility recommendation for a small business in the specified 8(a) or recent Certificate of Competency situations.
Contracting Officer
Use the preaward survey report as part of the responsibility determination and award decision, and rely on the narrative and form entries to assess whether the prospective contractor is capable of performing.
Prospective Contractor
Respond to survey inquiries and, where applicable, demonstrate corrective action, capability, and readiness to perform so the survey record accurately reflects current responsibility.
Practical Implications
A preaward survey is not just a checklist; the narrative must explain the facts behind the ratings, or the report may be too weak to support an award decision.
For small businesses in the covered categories, failing to involve SBA can create a procedural defect and undermine the responsibility determination.
Past performance problems must be analyzed carefully: a contractor can have explanations for prior failures, but that alone does not prove satisfactory performance.
Repeated reliance on Government-provided engineering, inspection, or testing can signal a hidden performance risk even if the contractor technically meets minimum requirements.
Short-form reports are only appropriate when the agency already has enough information and no special issues need investigation; using them too broadly can leave the file incomplete and expose the award decision to challenge.
Official Regulatory Text
(a) The surveying activity shall complete the applicable parts of SF 1403 , Preaward Survey of Prospective Contractor (General); SF 1404 , Preaward Survey of Prospective Contractor-Technical; SF 1405 , Preaward Survey of Prospective Contractor-Production; SF 1406 , Preaward Survey of Prospective Contractor-Quality Assurance; SF 1407 , Preaward Survey of Prospective Contractor-Financial Capability; and SF 1408 , Preaward Survey of Prospective Contractor-Accounting System; and provide a narrative discussion sufficient to support both the evaluation ratings and the recommendations. (b) When the contractor surveyed is a small business that has received preferential treatment on an ongoing contract under Section 8(a) of the Small Business Act (15 U.S.C. 637) or has received a Certificate of Competency during the last 12 months, the surveying activity shall consult the appropriate Small Business Administration field office before making an affirmative recommendation regarding the contractor’s responsibility or nonresponsibility. (c) When a preaward survey discloses previous unsatisfactory performance, the surveying activity shall specify the extent to which the prospective contractor plans, or has taken, corrective action. Lack of evidence that past failure to meet contractual requirements was the prospective contractor’s fault does not necessarily indicate satisfactory performance. The narrative shall report any persistent pattern of need for costly and burdensome Government assistance ( e.g., engineering, inspection, or testing) provided in the Government’s interest but not contractually required. (d) When the surveying activity possesses information that supports a recommendation of complete award without an on-site survey and no special areas for investigation have been requested, the surveying activity may provide a short-form preaward survey report. The short-form report shall consist solely of the Preaward Survey of Prospective Contractor (General), SF 1403 . Sections III and IV of this form shall be completed and block21 shall be checked to show that the report is a short-form preaward report.